Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHING, JO JO SIU MEI
Chinese Name of Relevant Individual
程小美
HKMA Registration Number
AF4332
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Mar 2023
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT FINANCIAL PLANNING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Mar 2023
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT FINANCIAL PLANNING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 11 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jan 2022 - 05 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jan 2022 - 05 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Sep 2016 - 03 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Sep 2016 - 03 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jun 2016 - 06 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jun 2016 - 06 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Nov 2014 - 10 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Nov 2014 - 10 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jun 2014 - 02 Sep 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jun 2014 - 02 Sep 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jul 2013 - 26 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jul 2013 - 26 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
11 Jul 2013 - 26 May 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
CHING, JO JO SIU MEI
:
Chinese Name of Relevant Individual
程小美
:
HKMA Registration Number
AF4332
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
11 Mar 2023
No
VICE PRESIDENT FINANCIAL PLANNING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 Mar 2023
No
VICE PRESIDENT FINANCIAL PLANNING
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4332
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 11 Mar 2023
No
AF4332
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 11 Mar 2023
No
AF4332
HANG SENG BANK, LIMITED
Type 1: dealing in securities
18 Jan 2022 - 05 Feb 2023
No
AF4332
HANG SENG BANK, LIMITED
Type 4: advising on securities
18 Jan 2022 - 05 Feb 2023
No
AF4332
DAH SING BANK, LIMITED
Type 1: dealing in securities
28 Sep 2016 - 03 Nov 2021
No
AF4332
DAH SING BANK, LIMITED
Type 4: advising on securities
28 Sep 2016 - 03 Nov 2021
No
AF4332
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Jun 2016 - 06 Jul 2016
No
AF4332
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Jun 2016 - 06 Jul 2016
No
AF4332
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
15 Nov 2014 - 10 May 2016
No
AF4332
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
15 Nov 2014 - 10 May 2016
No
AF4332
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jun 2014 - 02 Sep 2014
No
AF4332
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Jun 2014 - 02 Sep 2014
No
AF4332
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 Jul 2013 - 26 May 2014
No
AF4332
HANG SENG BANK, LIMITED
Type 4: advising on securities
11 Jul 2013 - 26 May 2014
No
AF4332
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
11 Jul 2013 - 26 May 2014
No
AF4332
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
06 Jan 2012 - 31 Mar 2013
No
AF4332
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
06 Jan 2012 - 31 Mar 2013
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.